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Compliance Testing Director

2 months ago

Greenwich, Connecticut, United States Interactive Brokers Full time
Job Description

Interactive Brokers is seeking a seasoned Compliance Testing professional to lead our regulatory risk management efforts.

Key Responsibilities
  • Compliance Testing Program Management: Oversee the development, implementation, and maintenance of our annual compliance testing program to ensure adherence to regulatory requirements.
  • Stakeholder Coordination: Collaborate with cross-functional teams to execute testing reviews, ensuring timely and accurate completion of reviews in accordance with firm procedures.
  • Compliance Testing Program Development: Assist in designing, maintaining, and managing our compliance testing program, including testing procedures, methodologies, risk assessments, and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
  • Testing Execution: Execute the firm's compliance testing program, ensuring thorough and accurate testing of regulatory requirements.
  • Reporting and Remediation: Draft specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff, and report compliance testing findings to management, defining management action plans with stakeholders to address findings.
  • Compliance Testing Tracking: Track compliance testing findings from discovery to remediation, ensuring timely and effective resolution of issues.
Qualifications
  • At least 5+ years of experience in a compliance testing or audit role, preferably with a focus on security or commodity regulations, a broker-dealer, or an FCM.
  • Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
  • High degree of comfort and fluency with computers and technology.
  • Outstanding oral and written communication skills.
  • Ability to work both independently and to multi-task with minimal supervision.
  • Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
  • Experience with Atlassian Confluence/JIRA preferred.
Company Benefits
  • Competitive salary, annual performance-based bonus, and stock grant.
  • Retirement plan 401(k) with a competitive company match.
  • Excellent health and wellness benefits, including medical, dental, and vision benefits.
  • Wellness screenings and assessments, health coaches, and counseling services through an Employee Assistance Program (EAP).
  • Paid time off and a generous parental leave policy.
  • Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack.
  • Corporate events, including team outings, dinners, volunteer activities, and company sports teams.
  • Education reimbursement and learning opportunities.
  • Modern offices with multi-monitor setups.